ROC Compliance

Who Needs This Service

Every company registered with the ROC needs this service, whether or not it has business activity. Startups, small and medium companies, subsidiaries of foreign groups and dormant companies all must file. Companies that are preparing for funding or due diligence should ensure that their ROC record is complete.

Founders who run lean operations may be tempted to skip filings during slow periods, but defaults accumulate quickly and become expensive. Companies that have missed filings for several years can still regularise them, but at the cost of additional fees.

Directors should also be aware that continued default can lead to their disqualification under the Companies Act, which can affect all other companies in which they are directors.

If you are unsure about your company's compliance status, we can review the MCA record and prepare a catch-up plan.

Key Benefits

• Complete and timely annual and event-based ROC filings
• Avoids late fees, penalties and director disqualification
• Clean MCA record for investors, banks and tenders
• Compliance calendar tailored to your company
• Support for small-company relaxations such as MGT-7A

Next Steps & Related Services

After filing, keep acknowledgements and update statutory registers.

Related services: Annual Compliance, Statutory Compliance, ADT-1, DIR-3 KYC and MSME Form-1.

Common Mistakes

• Treating inactive companies as exempt from filing.
• Waiting until after the AGM to prepare documents.
• Missing event-based forms such as DIR-12 and MGT-14.
• Filing MGT-7 instead of MGT-7A for eligible small companies, or vice versa.
• Ignoring late-fee implications.

Timeline, Costs & Practical Tips

Deadlines are 30, 60 and 15 days from the AGM or auditor appointment depending on the form. Costs include MCA fees (based on authorised capital), certification and professional charges.

Practical tip: hold the AGM early so that AOC-4 and MGT-7 deadlines are comfortable.

Additional Information

Sections 92 and 137 of the Companies Act, 2013 require companies to file an annual return and financial statements with the Registrar, and other sections require event-based filings. The Registrar maintains a public register so that anyone dealing with the company can check its status. Failure to file attracts additional fees under the Companies (Registration Offices and Fees) Rules and can lead to strike-off under Section 248 and disqualification of directors under Section 164(2). This is why ROC compliance is more than a formality.

Practical Scenarios

Scenario 1:

A small company holds its AGM and files AOC-4 and MGT-7A within the deadlines.

Scenario 2:

A company appoints a new director and files DIR-12 on time.

Scenario 3:

A company that missed several years of filings approaches us to regularise its MCA record and avoid strike-off.

Practical Guidance

ROC compliance works best when treated as a year-round routine rather than a once-a-year rush. Event-based forms such as DIR-12 and MGT-14 arrive unpredictably during the year, while AOC-4, MGT-7 and ADT-1 follow the AGM. Keeping a single tracker for both types prevents the common mistake of filing the annual forms on time while an earlier event-based filing remains pending.